0001209191-17-061513.txt : 20171117 0001209191-17-061513.hdr.sgml : 20171117 20171117163907 ACCESSION NUMBER: 0001209191-17-061513 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20171115 FILED AS OF DATE: 20171117 DATE AS OF CHANGE: 20171117 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Haltmayer Neven CENTRAL INDEX KEY: 0001380567 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-25826 FILM NUMBER: 171211522 MAIL ADDRESS: STREET 1: 549 BALTIC WAY CITY: SUNNYVALE STATE: CA ZIP: 94089 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: HARMONIC INC CENTRAL INDEX KEY: 0000851310 STANDARD INDUSTRIAL CLASSIFICATION: RADIO & TV BROADCASTING & COMMUNICATIONS EQUIPMENT [3663] IRS NUMBER: 770201147 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 4300 NORTH FIRST STREET CITY: SAN JOSE STATE: CA ZIP: 95134 BUSINESS PHONE: 4084906242 MAIL ADDRESS: STREET 1: 4300 NORTH FIRST STREET CITY: SAN JOSE STATE: CA ZIP: 95134 FORMER COMPANY: FORMER CONFORMED NAME: HARMONIC LIGHTWAVES INC DATE OF NAME CHANGE: 19950404 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2017-11-15 0 0000851310 HARMONIC INC HLIT 0001380567 Haltmayer Neven 4300 NORTH FIRST STREET SAN JOSE CA 95134 0 1 0 0 Sr. Vice President, R&D Common Stock 2017-11-15 4 M 0 3417 0.00 A 59143 D Common Stock 2017-11-16 4 S 0 1301 3.8091 D 57842 D Common Stock 2017-11-15 4 M 0 18418 0.00 A 76260 D Common Stock 2017-11-16 4 S 0 7010 3.8091 D 69250 D Restricted Stock Unit 0.00 2017-11-15 4 M 0 3417 0.00 D 2017-02-15 2018-02-15 Common Stock 3417 3417 D These shares of common stock were acquired upon the vesting of restricted stock units on 11/15/2017. These restricted stock units were initially granted to the Reporting Person on 3/14/2016, and were identified on a Form 4 filed by the Reporting Person on 3/16/2016. Represents the number of shares automatically sold to cover tax withholding obligations in connection with the vesting of restricted stock units. This sale is mandated by the Issuer's election under its 1995 Stock Plan to enable the satisfaction of tax withholding obligations with funding from a "sell to cover" transaction and does not represent a discretionary trade by the Reporting Person. These shares of common stock were acquired upon the vesting of performance-based restricted stock units on 11/15/2017. /s/ Laura Donovan By Attorney-in-Fact: Laura Donovan 2017-11-17